Search for: "Security Credit Services, LLC "
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9 Oct 2012, 3:53 pm
A second registered futures entity, York Business Associates LLC, has agreed to pay a $130K penalty and disgorge $69K to the CFTC. [read post]
9 Oct 2012, 1:56 pm
It’s basically a one-stop shop for all your bank account information, credit card balances, payment due dates, bills, etc. [read post]
1 Oct 2012, 3:00 am
Event: Know Yourself and Your Decision-Making Process: A Conversation with Nobel Laureate Daniel Kahneman Location: New York, NY October 16 Sponsor: Investment Adviser Association Event: 2012 Compliance Workshop Location: Boston, MA October 16 Sponsor: NC Department of Secretary of State Event: Investment Adviser Workshop Location: Charlotte, NC October 17 Sponsor: Hedge Funds Care & ParkRiver Fund Solutions Event: Cocktails & Commentary – Navigating Institutional Investor Due… [read post]
19 Sep 2012, 5:40 am
http://bit.ly/Qik4XF (Russell Miller) Vendor Views Industry Landscape17a-4 llc Announces Phyllis L. [read post]
12 Sep 2012, 11:36 am
The name of the ILOC-issuing entity will be something like 2nd Trustee Assurance, LLC. [read post]
11 Sep 2012, 4:05 am
AND PAISANO SERVICE CO., INC. [read post]
1 Sep 2012, 3:10 pm
Electrical Services, Inc. v. [read post]
30 Aug 2012, 1:48 pm
Bancorp Services, LLC v. [read post]
28 Aug 2012, 6:43 pm
We were born before radar, credit cards split atoms, laser beams and ballpoint pens. [read post]
23 Aug 2012, 9:50 pm
Inc. and Fidelity Brokerage Services LLC, two Fidelity broker-dealers, failed to provide adequate supervisory procedures and produced misleading advertising and sales materials for the fund. [read post]
23 Aug 2012, 7:09 pm
More Blog Posts: Raymond James Settles Auction-Rate Securities Case with Indiana Securities Division for $31M, Stockbroker Fraud Blog, August 27, 2011 The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate Securities, Institutional Investor Securities Blog, May 8, 2012 Securities Fraud Lawsuit Against UBS Securities LLC by Detroit Pension Funds Won’t Be Remanded to State Court, Says District Court,… [read post]
21 Aug 2012, 5:15 pm
The losses Edgar sold were purportedly non-passive partnership losses generated by Creative Financial Solutions, LLC and Why Not Entertainment, LLC, both of which Edgar managed and controlled. [read post]
15 Aug 2012, 8:25 am
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC ("Wells Fargo") and Shawn McMurty of Minnesota, the former vice-president of its Institutional Brokerage and Sales Division, have agreed to settle charges by the Securities and Exchange Commission ("SEC") relating to the sales of certain asset-backed commercial paper investments to certain institutional customers, including municipalities and non-profit… [read post]
12 Aug 2012, 7:46 pm
“A concentration of issuers creates an oligopoly,” said Bill Frey, head of Greenwich Financial Services LLC in Greenwich, Connecticut, whose firm invests in, creates and trades mortgage bonds and advises bondholders. [read post]
9 Aug 2012, 7:26 am
Credits: Blackwater/Police Times” Examiner.com on August 8, 2012 released the following: “BY: JIM KOURI The liberal-left’s least favorite company, security contractor Blackwater, through it’s new corporate name Acadmi LLC, agreed on Tuesday to pay more than $7 million in fines in order to settle federal charges regarding alleged arms smuggling and other crimes. [read post]
9 Aug 2012, 7:26 am
Credits: Blackwater/Police Times” Examiner.com on August 8, 2012 released the following: “BY: JIM KOURI The liberal-left’s least favorite company, security contractor Blackwater, through it’s new corporate name Acadmi LLC, agreed on Tuesday to pay more than $7 million in fines in order to settle federal charges regarding alleged arms smuggling and other crimes. [read post]
2 Aug 2012, 9:55 am
" In Loparex, LLC v. [read post]
1 Aug 2012, 5:51 am
Berkery, Chairman, UBS Bank & Vice Chair, Wealth Mgmt., UBS Financial Services Inc. [read post]
27 Jul 2012, 5:34 am
H3 Environmental II LLC, [2004] O.J. [read post]
19 Jul 2012, 6:45 am
Finra alleged that Fidelity’s two broker-dealers, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Co. [read post]
